Form 8-K

8-K — ROCKET PHARMACEUTICALS, INC.

Accession: 0001140361-26-022311

Filed: 2026-05-21

Period: 2026-05-20

CIK: 0001281895

SIC: 2834 (PHARMACEUTICAL PREPARATIONS)

Item: Submission of Matters to a Vote of Security Holders

Documents

8-K — ef20074449_8k.htm (Primary)

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8-K

8-K (Primary)

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of

The Securities Exchange Act of 1934

Date of Report (Date of earliest event reported)

May 20, 2026

Rocket Pharmaceuticals, Inc.

(Exact name of registrant as specified in its charter)

Delaware

001-36829

04-3475813

(State or other jurisdiction of incorporation)

(Commission File Number)

(IRS Employer Identification No.)

9 Cedarbrook Drive

Cranbury, NJ 08512

(Address of principal executive offices, including zip code)

(609) 659-8001

(Registrant’s telephone number, including area code)

Not applicable

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the

following provisions (see General Instruction A.2):

☐

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class

Trading

Symbol(s)

Name of each exchange

on which registered

Common stock, $0.01 par value

RCKT

The Nasdaq Global Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter)

or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or

revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Item 5.07.

Submission of Matters to a Vote of Security Holders.

The 2026 Annual Meeting of Stockholders of Rocket Pharmaceuticals, Inc. (the “Company”) was held on May 20, 2026 (the “Annual Meeting”). At the Annual Meeting, there were present, in person or by proxy, holders of

80,774,659 shares of common stock, or approximately 74.02% of the total outstanding shares eligible to be voted. The holders present voted on the four proposals presented at the Annual Meeting as follows.

Proposal One -

Election of Directors

The Company’s stockholders approved the election of seven directors to the Company’s Board of Directors (“Board”) by the following

votes:

Nominee

Votes For

Votes Withheld

Broker Non-Votes

Peter Fong, M.D.

62,067,824

1,216,320

17,490,515

Carsten Boess

62,711,345

572,799

17,490,515

Mikael Dolsten, M.D., Ph.D.

59,500,907

3,783,237

17,490,515

Fady Malik, M.D., Ph.D.

62,755,875

528,269

17,490,515

Gaurav Shah, M.D.

62,808,593

475,551

17,490,515

David P. Southwell

43,172,112

20,112,032

17,490,515

Roderick Wong, M.D.

62,699,331

584,813

17,490,515

Proposal Two -

Ratification of Appointment of Independent Registered Accounting Firm

The Company’s stockholders ratified the appointment of EisnerAmper LLP as the Company’s independent registered accounting firm for the

fiscal year ending December 31, 2026 by the following votes:

Votes For

Votes Against

Abstentions

79,195,009

1,002,656

576,994

Proposal Three - Non-Binding Advisory Vote on the Compensation of the Company’s Named Executive Officers

The Company’s stockholders approved, on a non-binding, advisory basis, the compensation of the Company’s named executive officers, as

disclosed in the 2026 Proxy Statement pursuant to Section 14A of the Exchange Act (the “2026 Proxy Statement”). The final votes were:

Votes For

Votes Against

Abstentions

Broker Non-Votes

61,389,376

1,671,016

223,752

17,490,515

Proposal Four – Stock Option Exchange Program

The Company’s stockholders approved the proposed stock option exchange program as described in the 2026 Proxy Statement. The final

votes were:

Votes For

Votes Against

Abstentions

Broker Non-Votes

45,582,445

17,615,213

86,486

17,490,515

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its

behalf by the undersigned hereunto duly authorized.

Rocket Pharmaceuticals, Inc.

Date: May 21, 2026

By:

/s/ Gaurav Shah, MD

Gaurav Shah, MD

Chief Executive Officer and Director

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Entity Tax Identification Number

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Entity Address, Address Line One

9 Cedarbrook Drive

Entity Address, City or Town

Cranbury

Entity Address, State or Province

Entity Address, Postal Zip Code

08512

City Area Code

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Local Phone Number

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